Topic Measures Measures and sanctions by BaFin's Securities Supervision Directorate
On its website, BaFin makes public certain measures and sanctions which it has adopted due to contraventions of prohibitions and requirements in the sector of securities supervision or which have been made known to BaFin pursuant to section 335 (1d) of the German Commercial Code (Handelsgesetzbuch – HGB).
The following table provides a list of all cases of non-anonymised publication.
Under certain circumstances measures adopted by BaFin are made public on an anonymised basis. This is the case, for example, if publication would result in disproportionately large damage for the natural or legal person concerned. The following table provides an overview of all cases of anonymised publication:
|Date||Measure||Reason/ contravention||Status||Note||Legal basis of the publication|